System for supplemental data reporting utilizing data record

ABSTRACT

A supplemental data report generation device may interface with one or more databases to generate a supplemental data report document for reporting actions of an aggregate user reporting entity. The device may retrieve a set of criteria for the supplemental data report, such as a set of items to be covered by the report, an action property, and a reporting rule based on the action property. The device may review action records stored in a record data store and identify actions that have the action property. Operational attributes associated with the plurality of actions may be identified through the action records. The device may use the operational attributes associated with the action records to determine if they are subject to the reporting rule, and these actions may be included in the supplemental data report.

BACKGROUND

Aspects of the disclosure relate to computer hardware and software. Inparticular, one or more aspects of the disclosure generally relate tocomputer hardware and software for providing supplemental data reportingdocuments generated based on records stored in one or more databases andcorresponding to one or more actions of an aggregate user recordingentity for a collection of users.

In many computer systems, users may maintain a user recording entitywith a provider to utilize services of that provider. The provider mayutilize the user recording entity to track information corresponding toactions attributable to the user in one or more databases. Inparticular, the user may be electronically represented by a userrecording entity on the provider's computer systems. The user may beable to initiate various actions through use of the user recordingentity. For example, the user may request a service provided by theprovider and the provider may record the service against the userrecording entity. Actions attributable to the user via the userrecording entity may be tracked in one or more databases. The databasesmay store a plurality of data records comprising details associated witheach action.

Providers typically have a very large number of users requesting theirservices, and may be forced to maintain a large number of user recordingentities to track actions attributable to each individual user. As thenumber of users grows, and as the number of actions attributable to eachuser grows, the system may be forced to manage a large number of datarecords. While this collection of data records may provide significantvalue to the provider, it may be difficult to properly assess the impactor net effect of a large number of recorded actions. Thus, varieddatabase reporting systems have been developed to produce reportsregarding information stored in the data records of such databases.Database reporting systems may accept one or more criteria for a reportand generate a reporting document that includes information about thedata records stored in the database selected and processed based on thecriteria for the report. Information in the reporting document may beassociated with the individual user reporting entities maintained by thecomputer systems of the provider.

However, at times it may be desirable to have a single user reportingentity correspond to more than one user. In some circumstances, anaggregate user reporting entity may be created corresponding to acollective group of users. For example, each user of the collectivegroup of users may belong to or be associated with a commonrepresentative organization. The organization may manage the aggregateuser reporting entity maintained with a provider on behalf of the usersin the collective group of users. The organization may request servicesfrom the provider on behalf of individual users via the aggregate userreporting entity. Although the actions ultimately are attributable tothe individual users, from the provider's end they each appearassociated with the aggregate user reporting entity rather than anindividual user reporting entity associated with the particular user.This may provide certain benefits, such as reducing the number of userreporting entities that the provider must maintain and trackindividually. It may also provide benefits for the organizationrepresenting the collective group of users, as the organization may beable to maintain as confidential the identities of the individual users.

Use of an aggregate user reporting entity may lead to a lack oftransparency for the providers. Providers may find value in detailsassociated with the underlying users associated with actions made by theaggregate user reporting entity. However, because each action isidentified as associated with the aggregate user reporting entity forthe organization rather than an individual user, the provider mayencounter difficulties in assessing the nature of the actions andmeeting its own reporting requirements.

SUMMARY

The following presents a simplified summary in order to provide a basicunderstanding of some aspects of the disclosure. The summary is not anextensive overview of the disclosure. It is neither intended to identifykey or critical elements of the disclosure nor to delineate the scope ofthe disclosure. The following summary merely presents some concepts ofthe disclosure in a simplified form as a prelude to the descriptionbelow.

Aspects of the disclosure relate to computer systems that provideeffective, efficient, scalable, and convenient ways of generatingsupplemental data reporting documents regarding one or more attributesof a set of actions associated with an aggregate user reporting entitybased on data records stored in a database. An organization maintainingthe aggregate user reporting entity for requesting services with aprovider on behalf on a collective group of users may maintain adatabase comprised of data records storing information regarding eachaction made by the aggregate user reporting entity. The data records mayinclude information associating an individual user of the collectivegroup of users with a particular action or data record. A databasereporting engine may process the stored data records corresponding toactions of the aggregate user reporting entity and generate asupplemental data report including operational information aboutparticular actions of the aggregate user reporting entity based on oneor more criteria for the report. The operational information may relateto the nature, characteristics, and/or attributes of an underlyingindividual user of the collective group of users associated with theparticular action. The system may generate a user interface comprising adisplay of the supplemental data report, and a reviewing user may reviewthe supplemental data report and approve it for publication to a thirdparty, such as the service provider with whom the aggregate userreporting entity is maintained. As a result, the organization may beable to provide selected operational information regarding the natureand characteristics of a set of actions while maintaining confidentialthe identity and other characteristics of users represented by theorganization.

One or more aspects described herein may provide a system comprising arecord data store, a reporting rule data store, a report staging datastore, and a supplemental data report generation device. The record datastore may be configured to store a plurality of action recordsassociated with an aggregated user reporting entity. The aggregate userreporting entity may correspond to a plurality of users. The reportingrule data store may be configured to store one or more reporting rulesassociated with one or more action properties. The report staging datastore may be configured to store a plurality of reports. Thesupplemental data report generation device may comprise at least oneprocessor and memory storing computer-readable instructions. Theinstructions may configure the supplemental data report generationdevice to receive a set of criteria for a supplemental data reportcorresponding to actions of the aggregate user reporting entity. The setof criteria may comprise a set of items covered by the supplemental datareport and a first action property. The supplemental data reportgeneration device may retrieve, from the reporting rule data store, afirst reporting rule based on the first action property. Thesupplemental data report generation device may retrieve, from the recorddata store, one or more action records of the plurality of actionrecords based on the set of items and first action property. Thesupplemental data report generation device may determine, based on a setof operational attributes associated with the one or more actionrecords, a subset of actions that match the first reporting rule. Thesupplemental data report generation device may generate the supplementaldata report based on the set of items and the subset of actions. Thegenerated supplemental data report may be stored in the report stagingdata store.

Further aspects of the disclosure relate to computer systems thatprovide effective, efficient, scalable, and convenient ways of providingreporting documents regarding one or more attributes of a set oftransactions. More specifically, aspects of the disclosure relate togenerating supplemental data reports for transactions of arepresentative account corresponding to a plurality of clients based onone or more criteria for the supplemental data report.

For example, one or more aspects of the disclosure relate to a systemfor generating supplemental data reports for transactions of arepresentative account. As described in further detail below, asupplemental data report generation device in the system may utilizestored transaction records and associated operational attribute data togenerate a supplemental data report providing additional informationabout transactions by the representative account associated with a setof products, such as a group of mutual funds provided by a fund company.The supplemental data report generation device may gather theappropriate records from various data stores as described herein andgenerate the supplemental data report based on a set of criteria for thereport. The criteria for the report may be configured by users through afront-end device providing access to the rest of the system. Thefront-end device may also allow users to review and approve thesupplemental data reports before they are published to a third party.Advantageously, by providing supplemental data reports in accordancewith one or more aspects discussed in greater detail below, aninstitution may provide partial transparency into operational attributesassociated with transactions of a representative account, therebyenhancing the ability of the fund companies (or other third parties) toassess liquidity conditions and meet regulatory obligations.

One or more aspects described herein relate to systems for generatingsupplemental data reports for transactions of a representative accountthat have certain transaction properties. A supplemental data reportgeneration device may interface with one or more data stores to generatethe supplemental data report. The device may retrieve a set of criteriafor the supplemental data report, such as a set of products to becovered by the report, a transaction property, and a reporting rulebased on the transaction property. For example, the transaction propertymay be a state of sale associated with a transaction and the reportingrule may be an exemption rule associated with the state of sale. Thedevice may review transaction records of the representative accountstored in a transaction record data store and identify a plurality oftransactions that have the transaction property. Operational attributesassociated with the plurality of transactions may be identified throughthe transaction records. The operational attributes may correspond toattributes of a client of the representative account associated with aspecific transaction record. The device may use the operationalattributes associated with each of the transaction records to determineif they are subject to the reporting rule, and these transactions may beincluded in the supplemental data report. Once generated, thesupplemental data report may be stored in a report staging data storefor review and approval.

One or more aspects described herein may provide a system for generatinga supplemental data report corresponding to transactions of arepresentative account, wherein the representative account correspondsto a first plurality of customers. The system may comprise a transactionrecord data store, a reporting rule data store, a report staging datastore, and a supplemental data report generation device. The transactionrecord data store may be configured to store a plurality of transactionrecords associated with the representative account. The reporting ruledata store may be configured to store one or more reporting rulesassociated with one or more transaction properties. The report stagingdata store may be configured to store a plurality of reports. Thesupplemental data report generation device may use operational attributeinformation associated with each of the transaction records to determinecontent for the supplemental data report and to generate thesupplemental data report.

The supplemental data report generation device may receive a set ofcriteria for the supplemental data report. The set of criteria mayinclude a set of products for the report, transaction properties fortransactions that are to be included in the report, and/or one or morereporting rules used to select the customers and information to beincluded in the report. The device may retrieve transaction recordsassociated with the representative account from the transaction recorddata store based on the set of products and the one or more transactionproperties. The device may determine a subset of transactions that matchthe one or more reporting rules based on a set of operational attributesassociated with the one or more transaction records. The set ofoperational attributes may correspond to attributes of customersassociated with the set of products based on the one or more transactionrecords. In some arrangements, the operational attributes may beincluded in the transaction records. In other embodiments, thesupplemental data report generation device may retrieve the set ofoperational attributes associated with the one or more transactionrecords from an operational attribute data store. Based on the set ofproducts and the subset of transactions, the device may generate thesupplemental data report. The generated supplemental data report may bestored in the report staging data store for review and approval prior topublication of the supplemental data report.

In some embodiments, the supplemental data report generation device mayreceive the set of criteria from a user of a front-end system thatallows the user to configure the criteria for the supplemental datareport. In other embodiments, the system may receive the set of criteriafor the supplemental data report from a report definition data storeconfigured to store sets of criteria associated with various reports.The reports may be manually initiated responsive to a user request togenerate the report, or the reports may be scheduled for automaticgeneration at appropriate intervals.

In some arrangements, the supplemental data report generation device mayretrieve the one or more reporting rules based on the one or moretransaction properties. For example, the system may look up one or moreexemption rules associated with a transaction property such as a stateof sale. As an example, the exemption rule associated with a particularstate may comprise a rule based on a classification of the underlyingcustomer for the transaction. As another example, the exemption ruleassociated with the particular state may comprise a prior ownership rulebased on a transaction history of the underlying customer.

In some examples, the supplemental data report generation device maycalculate one or more aggregate metrics associated with the set ofproducts and the subset of transactions based at least in part onportions of the operational attributes corresponding to a subset ofoperational attribute fields associated with the transaction records.For example, the operational attribute fields stored in the transactionrecord data store and/or stored in an operational attribute data storemay comprise one or more personally identifiable information fields andthe subset of operational attribute fields may be selected to omit theone or more personally identifiable information fields.

In some example arrangements, the transaction properties may comprise afirst transaction property and a second transaction property, and thesupplemental data report generation device may generate a first reportsection for the first transaction property and generate a second reportsection for the second property, wherein a report section for a givenproperty is generated based on a respective subset of transactionrecords and/or customers corresponding to the given property.

In some embodiments, the transaction data may correspond to mutual fundsubscription transactions made by the representative account and the setof products may comprise a defined family of mutual funds.

One or more aspects described herein may provide a method for generatinga supplemental data report for transactions of a representative accountcorresponding to a first plurality of customers. The method may comprisereceiving, by a supplemental data report generation device, a set ofcriteria for the supplemental data report. The set of criteria maycomprise a set of products covered by the supplemental data report andone or more transaction properties. The method may further compriseretrieving a first plurality of transaction records from a transactiondata store corresponding to the representative account based on the setof products. The device may determine a second plurality of transactionrecords selected from the first plurality of transaction records basedon a given transaction record having the one or more transactionproperties. The method may also comprise determining, based onoperational attributes corresponding to the second plurality oftransaction records, a third plurality of transaction records that matchone or more reporting rules associated with the one or more transactionproperties. The third plurality of transaction records may be a subsetof the second plurality of transaction records. The supplemental datareport generation device may generate the supplemental data report basedon the third plurality of transaction records and the operationalattributes. The method may conclude with storing the generatedsupplemental data report in a report staging data store for review andapproval prior to publication of the supplemental data report.

One or more aspects described herein may provide non-transitorycomputer-readable media storing instructions that cause a supplementaldata report generation device to generate a supplemental data report fortransactions of a representative account corresponding to a firstplurality of users. The device may receive a set of criteria for thesupplemental data report. The set of criteria may comprise a productcovered by the supplemental data report and a first state of sale fortransactions to be included in the supplemental data report. One or morereporting rules may be retrieved from a reporting rule data store. Theone or more reporting rules may be associated with the first state ofsale and may be based on one or more operational attributes. The devicemay retrieve, from a transaction data store, a first plurality oftransaction records associated with the representative account thatcorrespond to the product and have a state of sale attribute thatmatches the first state of sale. The device may determine a secondplurality of transaction records that match the one or more reportingrules. The second plurality of transaction records may be selected fromthe first plurality of transaction records based on operationalattributes corresponding to a first plurality of customers associatedwith the representative account and identified in the first plurality oftransaction records. The device may generate the supplemental datareport based on the second plurality of transaction records and/or theoperational attributes. The generated supplemental data report may bestored in a report staging data store for review and approval prior topublication of the supplemental data report.

These features, along with many others, are discussed in greater detailbelow.

BRIEF DESCRIPTION OF THE DRAWINGS

The present disclosure is illustrated by way of example and not limitedin the accompanying figures in which like reference numerals indicatesimilar elements and in which:

FIG. 1 depicts an illustrative supplemental data report generationdevice for providing supplemental data reporting for transactions of arepresentative account in accordance with one or more exampleembodiments;

FIGS. 2, 3, and 4 depict example supplemental data reports in accordancewith one or more example embodiments;

FIG. 5A depicts a first illustrative computing environment for providingsupplemental data reporting for transactions of a representative accountin accordance with one or more example embodiments;

FIG. 5B depicts a second illustrative computing environment forproviding supplemental data reporting for transactions of arepresentative account in accordance with one or more exampleembodiments;

FIGS. 6A and 6B depict illustrative system flow diagrams for providingsupplemental data reporting for transactions of a representative accountin accordance with one or more example embodiments;

FIGS. 7A and 7B illustrate two example methods for generating asupplemental data report for transactions of a representative account inaccordance with one or more example embodiments;

FIG. 8 illustrates another example method for generating a supplementaldata report for transactions of a representative account in accordancewith one or more example embodiments;

FIG. 9 illustrates yet another example method for generating asupplemental data report for transactions of a representative account inaccordance with one or more example embodiments;

FIG. 10 illustrates an example method for providing a user interfaceallowing a user to configure generation of a supplemental data reportfor transactions of a representative account in accordance with one ormore example embodiments; and

FIGS. 11A through 11E illustrate example user interface screens that maybe utilized in accordance with one or more example embodiments.

DETAILED DESCRIPTION

In the following description of various illustrative embodiments,reference is made to the accompanying drawings, which form a parthereof, and in which is shown, by way of illustration, variousembodiments in which aspects of the disclosure may be practiced. It isto be understood that other embodiments may be utilized, and structuraland functional modifications may be made, without departing from thescope of the present disclosure.

It is noted that various connections between elements are discussed inthe following description. It is noted that these connections aregeneral and, unless specified otherwise, may be direct or indirect,wired or wireless, and that the specification is not intended to belimiting in this respect.

One or more aspects of the disclosure generally relate to computerhardware and software for providing supplemental data report documentsfor records corresponding to one or more actions of an aggregate userrecording entity on behalf of a collective group of users.

In many computer systems, users may maintain a user recording entitywith a provider to utilize services of that provider. The provider mayutilize the user recording entity to track information corresponding toactions attributable the user in one or more databases. As describedabove, at times it may be desirable to have a single user reportingentity correspond to more than one user. In some circumstances, anaggregate user reporting entity may be created corresponding to acollective group of users. For example, each user of the collectivegroup of users may belong to or be associated with a commonrepresentative organization. The organization may manage the aggregateuser reporting entity maintained with a provider on behalf of the usersin the collective group of users. The organization may request servicesfrom the provider on behalf of individual users via the aggregate userreporting entity. Although the actions ultimately are attributable tothe individual users, from the provider's end they each appearassociated with the aggregate user reporting entity rather than anindividual user reporting entity associated with the particular user.This may provide certain benefits, such as reducing the number of userreporting entities that the provider must maintain and trackindividually. It may also provide benefits for the organizationrepresenting the collective group of users, as the organization may beable to maintain as confidential the identities of the individual users.

Use of an aggregate user reporting entity may lead to a lack oftransparency for the providers. Providers may find value in detailsassociated with the underlying users associated with actions made by theaggregate user reporting entity. However, because each action isidentified as associated with the aggregate user reporting entity forthe organization rather than an individual user, the provider mayencounter difficulties in assessing the nature of the actions andmeeting its own reporting requirements.

For example, some institutions engaged in the buying and selling ofmutual funds (or other assets and securities) from fund companies onbehalf of clients may utilize a representative account (such as a “houseaccount” or an omnibus account) to transact in those mutual fundswithout needing to create individual accounts for each client with thefund companies. Transactions associated with the clients of theinstitution may each be made through the representative account for thebenefit of the individual clients while maintaining confidential theidentities of the individual clients. Use of a representative accountmay help lower administrative costs of both the institution and the fundcompanies.

In some embodiments described further herein, the aggregate userreporting entity may be a representative account associated with aplurality of customers of an organization. The actions tracked may betransactions of the representative account that are attributable toindividual customers of the plurality of customers. The organization maymaintain the representative account with an institution for the purposeof engaging in such transactions on behalf of the individual users whilemaintaining confidential the identity of the individual users. Inparticular, one or more aspects of the disclosure relate to a system forgenerating supplemental data reports for transactions of arepresentative account, where the representative account corresponds toa plurality of customers.

However, the institution's desire to keep their client informationconfidential may be in conflict with the needs of the fund company. Fundcompanies may desire information about the underlying customers thatinvest in their funds in order to accurately assess risk and liquidity.For example, fund managers may be better able to assess and manage riskif they have information regarding the types of investors in their fundsas well as how much of the fund each owns. Further, fund companies mayhave regulatory obligations based on the nature of the underlyingcustomers, such as under so-called “Blue Sky Laws.” A fund companyoperating in certain states may be obligated to pay fees on newsubscriptions originating within those states. Some of the states mayoffer exemptions based on the type of customers behind thesubscriptions, but the fund companies may be unable to determine whichtransactions qualify for the exemptions due to the presence of therepresentative account. Because each transaction is identified asassociated with the representative account for the institution ratherthan an individual client or entity, the fund company may encounterdifficulties in assessing liquidity conditions or meeting regulatoryobligations. Although the institutions that maintain the representativeaccount may internally track the underlying users associated withindividual transactions, this information is not generally madeavailable to fund companies due to confidentiality concerns or otherbusiness realities. Thus, one technical problem encountered in existingsystems is a difficulty in providing operational information about thenature of transactions of a representative account while stillmaintaining confidential the identities of the underlying customers.

As described in further detail below, aspects described herein relate tocomputer systems and methods for generating supplemental data reportingdocuments for transactions of a representative account. A supplementaldata report generation device (or an aggregator device) in the systemmay utilize stored transaction records and operational attributeinformation to generate a supplemental data report providing additionalinformation about transactions involving the representative accountassociated with a selected set of products, such as a group of mutualfunds provided by a fund company. The supplemental data reportgeneration device may gather the appropriate records and generate thesupplemental data report based on a set of criteria for the report. Thecriteria for the report may be configured by users through a front-enddevice providing access to the rest of the system. The front-end devicemay also allow users to review and approve the supplemental data reportsbefore they are published to a third party. Advantageously, by providingsupplemental data reports in accordance with one or more aspectsdiscussed in greater detail below, an institution may provide partialtransparency into client details associated with transactions of arepresentative account, thereby enhancing the ability of the fundcompanies (or other third parties) to assess liquidity conditions andmeet regulatory obligations.

Some aspects described herein relate to systems for generatingsupplemental data reports for transactions of a representative accountthat have certain transaction properties. A supplemental data reportgeneration device may be configured to generate the supplemental datareport and may receive a set of criteria for the supplemental datareport, such as a set of products to be covered by the report, atransaction property, and a reporting rule based on the transactionproperty. For example, the transaction property may be a state of saleassociated with a transaction and the reporting rule may be an exemptionrule associated with the state of sale. The supplemental data reportgeneration device may review transaction records of the representativeaccount and identify a plurality of transactions that have thetransaction property. Customers associated with the plurality oftransactions may be identified through the transaction records. Thesupplemental data report generation may use operational attributeinformation associated with each of the transaction records to determineif they are subject to the reporting rule, and the relevant operationalattribute information may be included in the supplemental data report.The operational attribute information may be advantageously presented inaggregate form, combined over all transaction meeting the criteria forthe supplemental data report. Once generated, the supplemental datareport may be stored in a report staging data store for review andapproval.

Other aspects described herein relate to a front-end system configuredto manage generation of a supplemental data report for transactions of arepresentative account and allow a user to review, revise, and publishthe report. The system may generate a user interface providing the usera convenient manner to input a set of criteria for the supplemental datareport, such as a set of products to be covered by the report and a setof operational attribute fields to include in the report. Other criteriamay include rules based on transaction properties and/or rules based onthe operational attribute fields. A front-end device may command aback-end device to generate the supplemental data report. The back-enddevice may review transaction records of the representative account andmay identify a subset of transaction records that are associated withthe set of products. The back-end device may use operational attributeinformation associated with each of the relevant transaction records togenerate the supplemental data report based on the set of operationalattribute fields for the report. The front-end device may allow users toview generated supplemental data reports, modify a selected report, andselect a report for publishing to an external facing website or forother delivery to a third party.

However, before discussing these and other aspects further, discussionwill turn to an example supplemental data report generation device thatmay be used to implement one or more aspects described herein, as shownin FIG. 1.

FIG. 1 depicts an illustrative supplemental data report generationdevice 100 for generating supplemental data reports for transactions ofa representative account in accordance with one or more exampleembodiments. In one or more arrangements, supplemental data reportgeneration device 100 may be a special-purpose computing deviceconfigured to interface with a transaction record data store and/orvarious other data stores to retrieve and process information forinclusion in a supplemental data report as described further herein.Supplemental data report generation device 100 may include a processor111 for controlling overall operation of supplemental data reportgeneration device 100 and its associated components, including memory112.

Memory 112 may include one or more program modules having instructionsthat, when executed by processor(s) 111, cause supplemental reportgeneration device 100 to perform one or more functions described herein.For example, memory 112 may include modules such as transaction module114 (which may provide functions related to transaction records for therepresentative account), operational attribute module 115 (which mayprovide functions related to operational attributes associated with thetransaction records and providing information about customers associatedwith the representative account), report content generation module 116(which may provide functions related to generating the supplemental datareport document), and/or report scheduler 117 (which may providefunctions related to initiating the generation of the supplemental datareport). Also, some or all of the modules and/or computer executableinstructions for supplemental data report generation device 100 may beembodied in hardware or firmware.

As will be described further below, supplemental report generationdevice 100 may be configured to generate a supplemental data report andmay receive a set of criteria for the supplemental data report, such asa set of products to be covered by the report, a transaction property,and a reporting rule based on the transaction property. For example, thetransaction property may be a state of sale associated with atransaction and the reporting rule may be an exemption rule associatedwith the state of sale. The set of criteria for the report may bepre-configured and stored in report scheduler 117, which may initiatethe generation of the supplemental data report at a scheduled time.Supplemental report generation device 100 may utilize transaction module114 to review transaction records of the representative account andidentify a plurality of transactions that have the transaction property.Customers associated with the plurality of transactions may beidentified through the transaction records using operational attributemodule 115. Supplemental report generation device 100 may useoperational attribute information associated with each of thetransaction records to determine if the transaction is subject to thereporting rule, and these transaction records and/or operationalattributes may be included in a supplemental data report generated usingreport content generation module 116. Once generated, the supplementaldata report may be stored in a report staging data store for review andapproval.

Supplemental data reporting device 100 may include a variety of computerreadable media. Computer readable media may be any available media thatmay be accessed by supplemental data report generation device, may benon-transitory, and may include volatile and nonvolatile, removable andnon-removable media implemented in any method or technology for storageof information such as computer-readable instructions, object code, datastructures, program modules, or other data. Examples of computerreadable media may include random access memory (RAM), read only memory(ROM), electronically erasable programmable read only memory (EEPROM),flash memory or other memory technology, compact disk read-only memory(CD-ROM), digital versatile disks (DVD) or other optical disk storage,magnetic cassettes, magnetic tape, magnetic disk storage or othermagnetic storage devices, or any other medium that can be used to storethe desired information and that can be accessed by supplemental datareport generation device 100.

Although not required, various aspects described herein may be embodiedas a method, a supplemental data report generation system, or as acomputer-readable medium storing computer-executable instructions. Forexample, a computer-readable medium storing instructions to cause aprocessor to perform steps of a method in accordance with aspects of thedisclosed embodiments is contemplated. For example, aspects of themethod steps disclosed herein may be executed on a processor onsupplemental data report generation device 100. Such a processor mayexecute computer-executable instructions stored on a computer-readablemedium.

Having discussed a supplemental data report generation device that maybe used to implement one or more aspects described herein, discussionwill now turn to supplemental data reports for transactions associatedwith a representative account. Three examples of such supplemental datareports are illustrated in FIGS. 2, 3, and 4.

FIG. 2 illustrates a first example supplemental data report 200.Supplemental data report 200 includes state of sale report section 210and state of sale report section 220.

As one example application of some aspects described herein, the systemmay generate a supplemental data report regarding transactions of therepresentative account that meet state-specific fee exemption rules, asillustrated in state of sale sections 210 and 220. In accordance withone or more aspects described further below, an institution may generatea supplemental data report listing relevant operational attributesassociated with transactions made by the representative account inmutual funds offered by the fund company. The supplemental data reportsystem may retrieve exemption rules associated with a transaction stateof sale, such as Texas for state of sale section 210, and assess whetherany customers involved in the transactions meet the exemption rules. Thesupplemental data report may include aggregate metrics rather than theoperational attributes themselves. For example, the report may indicatethat a certain percentage of the transactions in a state over a givenmonth met the exemption rules for the state. In the illustrated example,report subsections 212, 214, 222, and 224 each provide a breakdown ofthe classifications of the underlying customers for which therepresentative account submitted new subscription transactions. Severalstates offer fee exemptions to mutual fund operators if the underlyingcustomer is an institutional or managed, rather than retail, investor.Other states may offer fee exemptions where the subscription is a secondor later subscription by the underlying customer. Based on this report,the fund companies may be able to more accurately report newsubscriptions and claim appropriate fee exemptions.

FIG. 3 illustrates a second example supplemental data report 300.Supplemental data report 300 includes concentration report section 310.

Another example application of some aspects described herein is shown inconcentration report section 310. Concentration report section 310 mayprovide a fund manager with useful information for assessing andmanaging risk based on over-exposure to particular investors or classesof investors, as shown in subsections 312 and 314. Concentration reportsection 310 may also provide information necessary for compliance withvarious reporting obligations of the fund companies, such as reportingwhenever a single investor exceeds a threshold level of ownership in afund as shown in subsection 316.

FIG. 4 illustrates a third example supplemental data report 400.Supplemental data report 400 includes dividend election section 4100 anddividend election section 420.

As another example application of some aspects described herein,supplemental reports may be generated regarding dividend elections bythe customers that make up the representative account. Investorsfrequently are provided the option to receive any dividends in either acash payment or as additional shares (through dividend reinvestment).While the institution may elect for a cash payment on dividends in therepresentative account, many of the underlying customers may elect fordividend reimbursement. Reinvesting dividends may incur transaction feesfor the fund company, and as a result it may be useful for the fundcompany to review projections regarding dividend elections across therepresentative portfolio. For example, in dividend election section 410,subsection 412 indicates the percentages of customers that have a cashor reinvestment election. In dividend election report 420, thesupplemental data report further includes historical projection dataregarding past dividend elections by customers of the representativeaccount in subsections 422 and 424.

Having discussed examples of supplemental data reports as shown in FIGS.2, 3, and 4, discussion will now turn to example systems for generatingsupplemental data reports for transactions of a representative accountin accordance with some aspects described herein, as illustrated inFIGS. 5A and 5B.

FIG. 5A illustrates an illustrative computing environment 500 forgenerating supplemental data reports for transactions of arepresentative account in accordance with one or more exampleembodiments. For example computing environment 500 may include asupplemental data report generation system 510 (which may correspond tosupplemental data report generation device 100 of FIG. 1), front-endsystems 520, back-end systems 530, report staging data store 540, reportarchive data store 545, and publishing platform 550. The system may bein communication with third party users 502 through a public network byway of an external facing website 555.

In one or more arrangements, and as illustrated in greater detail below,any and/or all of supplemental data report generation system 510,front-end systems 520, back-end systems 530, report staging data store540, report archive data store 545, and publishing platform 550 may bespecial-purpose computing devices configured to perform specificfunctions. In particular, similar to supplemental data report generationdevice 100 of FIG. 1, Any of supplemental data report generation system510, front-end systems 520, back-end systems 530, report staging datastore 540, report archive data store 545, and publishing platform 550may include a processor and memory storing one or more modulesconfigured to implement one or more aspects described herein.

Computing environment 500 also may include one or more networks, whichmay interconnect one or more of supplemental data report generationsystem 510, front-end systems 520, back-end systems 530, report stagingdata store 540, report archive data store 545, and publishing platform550. For example, computing environment 500 may include one or moreorganization networks or public networks (not shown). Organizationnetworks and/or public networks may include one or more sub-networks(e.g., LANs, WANs, or the like). Organization networks may be associatedwith a particular organization (e.g., a corporation, financialinstitution, educational institution, governmental institution, or thelike) and may interconnect one or more computing devices associated withthe organization. For example, supplemental data report generationsystem 510, a front-end system 520, operational data stores 530, reportstaging data store 540, report archive data store 545, and publishingplatform 550 may be associated with an organization (e.g., a financialinstitution), and the organization network may be associated with and/oroperated by the organization, and may include one or more networks(e.g., LANs, WANs, VPNs, or the like) that interconnect supplementaldata report generation system 510, a front-end system 520, back-endsystems 530, report staging data store 540, report archive data store545, and publishing platform 550 and one or more other computing devicesand/or computer systems that are used by, operated by, and/or otherwiseassociated with the organization. The public network may connect theorganization network and/or one or more computing devices connectedthereto (e.g., supplemental data report generation system 510, afront-end system 520, back-end systems 530, report staging data store540, report archive data store 545, and publishing platform 550) withone or more networks and/or computing devices that are not associatedwith the organization. For example, systems associated with third partyusers 502 might not be associated with an organization that operates theorganization network (e.g., because the third party systems may be ownedand/or operated by one or more entities different from the organizationthat operates the organization network, such as one or more providers ofa product utilized by the organization, rather than being owned and/oroperated by the organization itself or an employee or affiliate of theorganization), and the public network may include one or more networks(e.g., the internet) that connect third party systems to publishingplatform 550, such as via external facing website 555.

As described above with respect to supplemental data report generationdevice 100 of FIG. 1, supplemental data report generation system 510 ofFIG. 5A may operate to generate a supplemental data report fortransactions associated with a representative account. Supplemental datareport generation system 510 may be configured to generate thesupplemental data report and may receive a set of criteria for thesupplemental data report, such as a set of products to be covered by thereport, a transaction property, and a reporting rule based on thetransaction property. Supplemental data report generation system 510 mayreceive the set of criteria from front-end systems 520 and/or a reportdefinition and rules data store 538 of back-end systems 530.Supplemental data report generation system 510 may utilize transactionrecord data store 536 of the back-end systems 530 to review transactionrecords 531 a-531 n of the representative account and identify aplurality of transactions that meet the criteria for the report.Customers associated with a plurality of transactions may be identifiedthrough the transaction records using information stored in thetransaction records. For example, the transaction records may storetransaction data 533 a and operational attribute data 535 a. Thetransaction data 533 a may, in some embodiments, identify the nature ofthe transaction (such as opening or closing), the associated asset (suchas by CUSIP identifier or ticker symbol), an amount of shares and/ordollar value of the transaction, a date/time of the transaction, a stateof sale of the transaction, and/or any other suitable information aboutthe transaction. Operational attribute data 535 a may, in someembodiments, identify one or more attributes of the underlying customerof the representative account that the transaction was on behalf of.Operational attribute data 535 a may include, for example, customertype, investor type, customer holdings, customer transaction history,dividend elections, state of residence, and/or any other suitableinformation about the nature of the customer that may be relevant toforecasting and/or compliance. Supplemental data report generationsystem 510 may use information associated with each of the transactionrecords to determine which transactions are subject to the reportingrule. For example, supplemental data report generation system 510 mayuse operational attribute data 535 a of transaction record 531 a todetermine that the underlying customer meets a state-specific feeexemption rule, and may include the transaction corresponding totransaction record 531 a in a supplemental data report on feeexemptions.

Once the system determines the relevant information (such as theproducts to be covered in the report, transaction records associatedwith the products, and a subset of the transaction records that meet oneor more report criteria), supplemental data report generation system 510may generate the supplemental data report. The supplemental data reportmay include a portion of the operational attribute informationassociated with the transaction records in the transaction record datastore 536. Additionally and/or alternatively, the supplemental datareport may include one or more aggregate metrics calculated based on theoperational attribute information associated with the transactionrecords, such as an average value or a percentage of transactionsmeeting certain criteria. Once generated, the supplemental data reportmay be stored in a report staging data store 540 for review andapproval, whereupon it may be published to publishing platform 550and/or stored in report archive data store 545. Published reports may beaccessed by third party users 502 through an external facing website 555and/or may be accessed by an organization customer service desk 560.Additional details regarding the information flows between supplementaldata report generation system 510, front-end systems 520, back-endsystems 530, report staging data store 540, and publishing platform 550are provided further below with regard to FIGS. 6A and 6B.

Continuing with FIG. 5A, front-end systems 520 may generate a userinterface providing the user a convenient manner to input a set ofcriteria for the supplemental data report, such as a set of products tobe covered by the report and a set of operational attribute fields toinclude in the report. Other criteria may include rules based ontransaction properties or rules based on the operational attributefields. Front-end systems 520 may command supplemental data reportgeneration system 510 to generate the supplemental data report.Supplemental data report generation system 510 may review transactionrecords of the representative account stored in back end systems 530 andidentify a plurality of transaction records associated with the set ofproducts. Supplemental data report generation system 510 may useoperational attribute information associated with each of the pluralityof transaction records stored in back end systems 530 to generate thesupplemental data report based on the set of operational attributefields.

Front end systems 520 may enable organization users 501 to configurecriteria for a supplemental data report, initiate generation of thesupplemental data report, review the generated supplemental data report,and queue the supplemental data report for publishing to publishingplatform 550. Front-end systems 520 may provide organization users 501with a friendly interface to the supplemental data report generationfunctions of supplemental data report generation system 510 and othersystems within the organization network. Front end systems 520 maycomprise report view and publish screens 522, manual report generationscreens 524, report administration screens 526, and/or report validationscreens 528.

Report view and publish screens 522 may present an organization user 501with a listing of reports stored in report staging data store 540 and/orreport archive data store 545. The user may select a report from thelisting of reports, and the front-end systems 520 may generate a displayof that report for the user's review. A user interface generated byfront-end systems 520 may allow the user to modify the report, such asby removing content, changing content, changing formatting, changingcriteria for the report, or any other suitable modifications. If theuser changes the criteria for a report that had been generated bysupplemental data report generation system 510, the report may bere-generated and re-displayed. The user interface may allow the user topublish the report to publishing platform 550 so that it may be accessedby third party users 502.

Two example user interfaces that may be associated with report view andpublish screens 522 are illustrated in FIGS. 11A and 11B. The exampleuser interfaces illustrated in FIGS. 11A and 11B may be generated byfront-end systems 520 and presented to an organization user 501 on adisplay, such as a computer monitor or other display screen. FIG. 11Aillustrates a view and publish user interface 1110 that may be generatedby the front-end systems to present a user with a list of reports storedin the report staging data store and/or the report archive data store.User interface 1110 illustrates an example where six reports are storedin the staging data store and await review and publication. Userinterface 1110 may include various information about the reports storedin the staging data store, such as a name of the report, a date of thereport, a report type of the report, and controls to view and/or publishthe report to the publishing platform. Any other suitable type ofinformation about the report may be included in user interface 1110 asappropriate. For example, if a report were scheduled for publication ata later date, user interface 1110 may include an indication of when thereport is scheduled to be published. User interface 1110 may provide anysuitable file management functions, such as allowing users to copyreports, delete reports, rename reports, move reports, release reports,and the like.

FIG. 11B illustrates a second view and publish user interface 1120 thatmay be generated by the front-end systems to present a user with adisplay of a selected report, such as a supplemental data report. Userinterface 1120 illustrates an example where the user has selected adividend election report for a particular product, which may be asupplemental data report generated according to one or more aspectsdescribed herein. User interface 1120 may allow the user to view thecontent of the selected report and make any appropriate edits ormodifications. For example, user interface 1120 may allow users to addcontent to the report, remove content from the report, modify content inthe report, modify presentation formatting of the report, modify one ormore criterion for the report, re-generate or re-run the report, and anyother suitable report modification functionality. One function that maybe provided through user interface 1120 is requesting the generation ofa drill down report. A drill down report may be a report comprisingadditional and/or more detailed information about a subset of theinformation contained in the supplemental data report, such as aparticular product of a set of products used in generating thesupplemental data report. A user may request that the system generate asa drill down report an additional report and/or report section based ona portion of the data set used to generate the viewed report. Forexample, where the viewed report relates to a plurality of products, theuser may request that a drill down report be generated to analyze theresults as to a single product. Any suitable criteria may be used togenerate the drill down report, and the criteria for the drill downreport may be used to narrow the results of the original supplementaldata report.

Returning to FIG. 5A, manual report generation screens 524 may presentan organization user 501 with a user interface allowing the user 501 toconfigure a set of criteria for a supplemental data report. Front-endsystems 520 may generate a user interface comprising a plurality of datareporting options operable that allow users to configure a supplementaldata report for transactions of a representative account. he set ofcriteria may include, for example, any of: a product covered by thereport; a set of products covered by the report; a company covered bythe report; a report level for the report; a group of customers coveredby the report; one or more representative accounts covered by thereport; a date or date range for the report; a transaction data set foruse in generating the report; a customer data set for use in generatingthe report; one or more transaction properties for use in selectingtransactions for the report; one or more operational attributes for usein selecting transactions for the report; one or more pre-defined reporttemplates for the report; one or more pre-defined sets of reportcriteria; a pre-defined report type for the report; a set of operationalattribute fields for inclusion in the report; a set of transactionfields for inclusion in the report; a set of representative accountfields for inclusion in the report; one or more aggregate metrics forinclusion in the report; a scheduled run date/time for the report; arecurring schedule for the report; a scheduled publish date/time for thereport; a delivery method for the report; drill down criteria for thereport and sub-reports; and/or any other suitable criteria forgenerating a supplemental data report for transactions associated with arepresentative account.

In some embodiments, front-end systems 520 may generate manual reportgeneration screens 524 at multiple levels of detail depending on theneeds of the user. For example, a first manual report generation screenmay prompt the user to define the data set for the report (such as afund family) and select a pre-defined report to be run on that data set(such as a dividend election report). A second manual report generationscreen may provide a list of fields for inclusion in the report but mayuse a pre-defined set of criteria to select the appropriate transactionsfor inclusion in the report. A third manual report generation screen mayprovide advanced users with a list of most or all of the criteriasupported by the system and may allow users to specify custom rulesbased on the criteria, such as threshold values, value ranges, and/orcomparisons to other values.

Two example user interfaces that may be associated with manual reportgeneration screens 524 are illustrated in FIGS. 11C and 11D. The exampleuser interfaces illustrated in FIGS. 11C and 11D may be generated byfront-end systems 520 and presented to an organization user 501 on adisplay, such as a computer monitor or other display screen. FIG. 11Cillustrates a build report user interface 1130 that may be generated bythe front-end systems to allow a user to build a new supplemental datareport. The user may do so by configuring a set of criteria for thesupplemental data report, as described above with respect to the manualreport generation screens 524. For example, user interface 1130 allows auser to select a pre-built report type for use in generating thesupplemental data report. In particular, user interface 1130 isillustrated as allowing a user to select a representative account thatwill be covered by the supplemental data report. The user may select areporting level for the report, such as a fund family, individual fund,product group, individual product, industry, subindustry, and the like.Based on the user's selection of a reporting level, user interface 1130may include a field to allow the user to input the product group (orother suitable entry, such as an individual fund). The user may select apre-built report type for the supplemental data report. For example,user interface 1130 as illustrated depicts sample report types such as aState of Sale-Customer Exemption Report; a Concentration Report; aDividend Election Forecast; and an Inflow Prediction Report. Many othertypes of pre-built reports may be utilized in the system, and users 501and/or administrative users may be able to define additional pre-builtreports as desired. The user may specify a frequency for the report,such as a one-time (non-recurring) report, a weekly report, a monthlyreport, a quarterly report, a yearly report, and/or any other suitabletime frame. Once the user has specified the relevant informationdescribed above, the user may select a create report button to initiategeneration of the report and/or schedule the report for latergeneration.

FIG. 11D illustrates another build report user interface 1140 that maybe generated by the front-end systems to allow a user to build a newsupplemental data report. User interface 1140 may be utilized foradvanced users to allow them to specify the fields that they would likeincluded in the report and to define custom rules for the report. As inuser interface 1130, user interface 1140 allows a user to selectrepresentative account that will be covered by the supplemental datareport. The user may select a reporting level for the report and, basedon the user's selection of a reporting level, user interface 1140 mayinclude a field to allow the user to input the product group (or othersuitable entry, such as an individual fund). The user may be presentedwith a plurality of options configured to allow the user to select oneor more operational attribute fields, transaction properties, and/or anyother suitable information for use in generating the report. The userinterface may be configured to allow the user to specify criteria forany of the selected fields and/or properties, as described above withrespect to manual report generation screens 524. The user may specify afrequency for the report and the user may select a create report buttonto initiate generation of the report and/or schedule the report forlater generation.

Returning again to FIG. 5A, front-end systems may generate other screensincluding report administration screens 526 and report validationscreens 528. Report administration screens 526 may be operable to allowuser and/or administrative users to setup system options and manageaccounts and entities in the supplemental report data generation system500. For example, one function of report administration screens 526 maybe to allow users to define product groups or fund families. As anotherexample, report administration screens 526 may allow users to definepre-built reports. As yet another example, report administration screens526 may allow users to define delivery options associated with aparticular entity or product group and to define default and/orpermitted delivery options. Report administration screens 526 may, insome embodiments, allow a user to define a responsible analyst/user thatis responsible for managing reports for the fund family. Reportvalidation screens 528 may support validation of reports by users, suchas by facilitating review of generated reports for accuracy. Forexample, report validation screens 528 may include error-checking logicthat identifies common errors in reports and prompts a user forcorrection.

An example user interface that may be associated with reportadministration screens 526 is illustrated in FIG. 11E. The example userinterface illustrated in FIG. 11E may be generated by front-end systems520 and presented to an organization user 501 on a display, such as acomputer monitor or other display screen. FIG. 11E illustrates a modifyproduct group user interface 1150 that may be generated by the front-endsystems to allow a user to modify an existing product group or fundfamily within the supplemental report generation system. In someembodiments, user interface 1150 may also allow users to create a newfund family and/or product group. Additionally and/or alternative,similar screens may be provided to allow a user to define a new fundfamily. As illustrated in the example of FIG. 11E, in some embodiments auser may define a product group by specifying a product group name. Theuser may define one or more products/funds that belong to that productgroup, and the user interface may allow users to add, remove, and modifyproducts in the product group. A user viewing the report administrationscreens 526, such as the example in user interface 1150, may be able toview scheduled reports corresponding to the product group and/or fundfamily. The information about the scheduled reports may include, forexample, a report name, a report type, a last run date, a frequency, anda delivery option. Any other suitable information may also be includedto identify the scheduled report associated with the product group.Users may also be able to define a delivery mode for the product group,such as publishing to an external facing website, emailing to an addressassociated with the product group, and/or any other suitable deliverymethod.

Returning once more to FIG. 5A, back end systems 530 may compriseoperational data stores storing operational data for use in managingtransactions of a representative account associated with a plurality ofcustomers. In the embodiment illustrated in FIG. 5A, back end systems530 may comprise transaction record data store 536 and report definitionand rules data store 538. The operational data stores of back endsystems 530 may be configured using any suitable techniques andtechnology, such as through a data warehousing platform and/or using oneor more databases.

Transaction record data store 536 may store information regardingtransactions made by the representative account on behalf of theplurality of clients. Transaction records 531 a-531 n may include anysuitable information about transactions made by the representativeaccount and may be organized as a data structure having one or morefields and/or data elements. For example, transaction record 531 acomprises transaction data 533 a and operational attribute data 535 a.Example fields for transaction data 533 a for each asset/product that ispurchased/sold may include: CUSIP or other identifier of the asset,price, quantity, date, time, state of sale, underlying customer, repeatsubscription status, type of transaction, and/or any other suitabletransaction property or attribute.

Operational attribute data 535 a may comprise information regarding anunderlying customer of the representative account for whom thetransaction was executed (e.g., the customer who benefited and/or wasotherwise affected by the transaction). Operational attributeinformation may include any suitable information about the nature of theunderlying customer for the transaction. Example fields for operationalattributes may include: state of residence, country/county/city ofresidence, zip code, investor classification, years of experienceinvesting, type of relationship with an institution maintaining therepresentative account, duration of relationship with the institution,total assets under management, current and past holdings, transactionhistory, current and past dividend elections, fee structures, disclosuresettings, and/or any other suitable operational attribute or informationrelevant to forecasting and/or compliance.

Report definition and rules data store 538 may store previouslyconfigured sets of criteria for generating supplemental data reports.For example, report definition and rules data store 538 may store a setof criteria for a monthly state of sale report for an asset. Based on aschedule setting in the set of criteria for the report, supplementaldata report generation device 510 may automatically initiate generationof a supplemental data report according to the set of criteria with thescheduled frequency. Report definition and rules data store 538 may alsostore one or more reporting rules for use in generating supplementaldata reports. For example, report definition and rules data store 538may store fee exemption rules for all 50 US states and supplemental datareport generation system 510 may access the stored fee exemption ruleswhen generating a supplemental data report for fees associated withtransaction having a particular state of sale.

Once generated by supplemental data report generation system 510, thesupplemental data report may be stored in report staging data store 540for review and approval by organization users 501. Front-end systems 520(such as through report view and publish screens 522) may allow users toview generated supplemental data reports, modify a selected report, andselect a report for publishing to an external facing website or forother delivery to a third party (as described above with respect toFIGS. 11A-11B). Reports may be optionally moved to report archive datastore 545 for retention purposes.

When a report receives user approval for publishing, the report may bemoved to publishing platform 550. Publishing platform 550 may comprisean external facing website 555 or a network accessible file share, insome embodiments. Third party systems operated by third party users 502may access publishing platform 550 via external facing website 555 andview/download the published reports. In some embodiments, externalfacing website 555 may allow authorized third party users 502 limitedability to request the generation of supplemental data reports. Forexample, the website 555 may allow authorized users to request certainroutine pre-defined reports that an administrative user 501 has enabledfor the authorized third party user 502. Optionally, an organizationcustomer service desk 560 may view published reports and facilitateaccess by third party users 502 and facilitate feedback and/orcommunication between third party users 502 and organization user 501.

FIG. 5B illustrates an alternative implementation of a computingenvironment 590 for generating supplemental data reports fortransactions of a representative account in accordance with one or moreexample embodiments. As with computing environment 500 of FIG. 5A,computing environment 590 of FIG. 5B may include a supplemental datareport generation system 510 (which may correspond to supplemental datareport generation device 100 of FIG. 1), front-end systems 520, back-endsystems 530, report staging data store 540, report archive data store545, and publishing platform 550. Generally, the components in computingenvironment 590 perform similar roles as those described above withrespect to computing environment 500 of FIG. 5A.

As described above, back end systems 530 may comprise operational datastores storing operational data for use in managing transactions of arepresentative account associated with a plurality of customers.However, FIG. 5B illustrates an alternative embodiment wherein back endsystems 530 comprise operational attribute data store 532, transactionrecord data store 536, representative account book table 534, and/orreport definition data store 538. In the example illustrated in FIG. 5B,operational attribute data is stored in a separate operational attributedata store 532 rather than or in addition to being stored as part of thetransaction records in transaction record data store 536. Operationalattributes describing the nature of the underlying customers associatedwith a plurality of transactions may be identified using operationalattribute data store 532, in some embodiments. Transaction records maycontain a limited set of operational attributes and/or a reference to anoperational attribute record in operational attributes data store 532.For example, a transaction record may include a state of sale for atransaction but may omit information about the underlying customer'scurrent exposure to the asset involved in the transaction. As anotherexample, a transaction record may include an identifier of thecorresponding operational attribute record in the operational attributedata store 532 and the supplemental data report generation system 510may retrieve the relevant operational attributes from the operationalattribute data store 532. As noted above, the operational data stores ofback end systems 530 may be configured using any suitable techniques andtechnology, such as through a data warehousing platform and/or using oneor more databases.

Operational attribute data store 532 may store information regarding anunderlying customer of the representative account. A transaction recordstored in the transaction record data store 536 may include a referenceto an operational attribute record stored in operational attribute datastore 532, indicating that the corresponding customer was the underlyingcustomer for the transaction associated with the transaction record.Operational attribute information may include any suitable informationabout the nature of the underlying customer for the transaction, asdescribed above. Example fields for operational attributes may include:state of residence, country/county/city of residence, zip code, investorclassification, years of experience investing, type of relationship withan institution maintaining the representative account, duration ofrelationship with the institution, total assets under management,current and past holdings, transaction history, current and pastdividend elections, fee structures, disclosure settings, and/or anyother suitable operational attribute or information relevant toforecasting and/or compliance.

FIG. 5B also illustrates and alternative embodiment utilizing arepresentative account book table 534 stored as part of or in additionto the transaction records stored in transaction record data store 536.Book table 534 may store information regarding current holdings of therepresentative account as well as allocations of those holdings to theplurality of customers represented by the representative account. Forexample, current holdings may be identified by a CUSIP identifier of anasset, a value of the total holdings in that asset, and an allocationschedule for the plurality of customers. In some embodiments,transaction record data store 536 may store book table 534 as anup-to-date list of current holdings. This may facilitate quickidentification of current holdings associated with a product group bythe supplemental data report system without needing to iterate over allopening and closing transactions in the transaction record data store.

Additional details regarding the information flows between components ofoperating environments 500 of FIGS. 5A and 590 of FIG. 5B are providedfurther below in regard to FIGS. 6A and 6B.

FIGS. 6A and 6B illustrate an illustrative process flow amongsupplemental data report generation system 510, front-end systems 520,back-end systems 530, report staging data store 540, and publishingplatform 550.

Beginning with FIG. 6A, at optional step 602 front end systems 520 mayreceive user input configuring criteria for a supplemental data report(see, e.g., user interfaces 1130 and 1140 of FIGS. 11C and 11D). Forexample, a user may request that the system generate a State of Salereport for a fund family offered by Fund Company 1 during the mostrecent quarter. The user may select a pre-defined set of report criteriato be used in generating the report. Additionally or alternatively, theuser may define a custom set of criteria for use in generating thereport. The set of criteria may include rules regarding one or moretransaction properties for use in generating the report and/or rulesregarding one or more customer attributes for use in generating thereport. Continuing the state of sale example, the user may define thatthe report should cover transactions in a particular state, such asTexas, and that the report should break out customers by customer type(e.g. retail, managed, institutional). The criteria may also includecompound criteria, such as a rule that transactions from Texas should beflagged if they are a second or subsequent subscription.

At optional step 604, if a set of report criteria has been received fromthe user, front end systems 520 may send a command to the supplementaldata report generation system 510 instructing the system 510 to begingeneration of the supplemental data report. The request may include thecriteria selected by the user, such as the state of sale criteriadescribed in the example above.

In some embodiments, front-end systems 520 may store the criteria in areport definition data store 538 for later generation of thesupplemental data report. Where the criteria specify a date and/or timefor running the supplemental data report, front-end systems may waituntil the specified date/time to send the command or may instruct thereport definition data store to initiate the generation of the report atthe proper time. Thus, at step 605, the supplemental data reportgeneration system may determine to initiate generation of a supplementaldata report. This may be in response to receiving a command from thefront-end systems in response to user input requesting the generation ofa supplemental data report. Additionally or alternatively, supplementaldata report generation system 510 may initiate generation of asupplemental data report based on a scheduled report set to beautomatically generated at predetermined intervals, such as where a userhas scheduled a monthly report. In some embodiments, the supplementaldata report generation system may retrieve one or more reporting rulesfrom a report definition and rule data store 538 based on informationincluded in the set of criteria, such as a given state of sale for thesupplemental data report.

At step 606, the supplemental data report generation system 510 mayrequest transaction records from the back-end systems 530 based on thereport criteria. Transaction records may be stored by the back endsystems 530 in transaction record data store 536. Transaction recorddata store 536 may store individual opening and closing transactionsassociated with the representative account (such as buy and sell orders,fund subscription orders, and/or any other suitable type oftransaction). Transaction record data store 536 may, additionally oralternatively, store a current account book 534 which maintainstransaction records identifying the current holdings of therepresentative account. As noted above, the representative account maybe associated with a plurality of customers. The institution may handletransactions of the plurality of customers through the representativeaccount. Transaction records stored in transaction record data store 536may identify one or more customers of the plurality of customers as thecustomers on whose behalf the transaction was made.

In some arrangements, the individual transaction records may alsoinclude one or more operational attributes describing the nature of theunderlying customer associated with the transaction. These operationalattributes may be utilized by supplemental data report generation system510 to generate the supplemental data report. In other embodiments,records of individual transactions may identify the customers(s) whowere the underlying client for a buy or sell transaction but omitcertain operational attributes that are stored in operational attributedata store 532. Supplemental data report generation system 510 may use acustomer identifier or other reference to retrieve operational attributedata corresponding to the customer underlying a given transaction. Insome arrangements, the transaction records stored in the account booktable 534 may associate a current position with a subset of thecustomers in the representative account that own a given product.

In some embodiments, the request for transaction records may include oneor more transaction properties and/or rules for selecting from among thetransactions stored in the transaction record data store 536. Forexample, the request may indicate that only transactions having aparticular state of sale be returned. At step 608, the back end systems530 may send a plurality of transaction records back to the supplementaldata report generation system 510 based on criteria included in therequest for transaction records and/or the report criteria. Continuingthe state of sale example introduced above, the back end systems 530 maysend all transaction records of the representative account that areidentified as having a state of sale of Texas.

As described above, in a first embodiment the transaction records mayinclude operational attribute data describing one or more aspects of thenature of the underlying customer for a transaction. In such anembodiment, the supplemental data report generation system 510 mayproceed to determine report content at step 616. However, in otherembodiments, the transaction records may omit some and/or all of theoperational attribute data and the supplemental data report generationsystem 510 may retrieve the relevant operational attribute data fromoperational attribute data store 532 in optional steps 610-614.

At optional step 610, the supplemental data report generation system 510may determine one or more customers corresponding to the returnedtransaction records based on the report criteria. In some embodiments,the supplemental data report generation system 510 may first determinewhich of the returned transaction records meet one or more transactioncriteria specified in the report criteria. For example, the supplementaldata report generation system 510 may determine which of the returnedtransactions have a particular state of sale, such as those transactionshaving a Texas state of sale in the example above. Once the supplementaldata report generation system 510 has identified the appropriatetransaction records, in some embodiments, the supplemental data reportgeneration system 510 may determine a subset of the plurality ofcustomers represented by the representative account that are associatedwith the transaction records. The system may determine which customersof all customers in the representative account are associated with agroup of products specified in the report criteria. For example,customers who participate in the representative account but have notbought securities or funds from a group specified in the criteria may beomitted from the report. Even if a customer has bought funds from agiven fund group, they may be omitted from the report if their purchasedid not meet other criteria included in the criteria for the report.Continuing the state of sale example, the supplemental data reportgeneration system 510 may determine which customers of the plurality ofcustomers represented by the representative account were associated withtransactions having a Texas state of sale.

At optional step 612, the supplemental data report generation system 510may send a request for operational attributes corresponding to clientidentifiers in the transaction records to back end system 530 based onthe determined subset of customers associated with the transactions andthe report criteria. For example, the request for operational attributesmay include a listing of customers identifiers determined to be involvedwith the relevant transaction. The request may include one or moreoperational attribute field identifiers to be returned in theoperational attribute records and, in some embodiments, one or morerules for filtering the returned operational attribute data. In thestate of sale example discussed above, the request may include a list ofthe customers identified in Texas transactions and may indicate that theoperational attribute data store 532 should return information regardingthe classification of each customer.

At optional step 614, the back end systems 530 (such as throughoperational attribute data store 532) may return one or more operationalattribute records to the supplemental data report generation system 510based on criteria included in the request and the report criteria. Insome embodiments, the operational attribute data store 532 may returnoperational attribute records for the use of the supplemental datareport generation system 510. In other embodiments, the operationalattribute data store 532 may return limited portions of the operationalattribute records based on the criteria included in the request and thereport criteria.

At step 616, the supplemental data report generation system 510 maydetermine content to be included in the supplemental data report basedon the transaction records, the operational attribute data, the reportcriteria, and/or any threshold values/rules for the supplemental datareport. The supplemental data report generation system 510 may revieweach of the returned transaction records and associated operationalattributes and determine which transactions meet one or more reportingrules specified in the report criteria and/or associated with atransaction property of the report criteria. In some embodiments, thesupplemental data report generation system 510 may look up a reportingrule in report definition and rules data store 538 and/or other sourcebased on a transaction property specified in the report criteria. Forexample, where the transaction property is that the state of sale isTexas, the supplemental data report generation system 510 may look upone or more reporting rules associated with the state of Texas. Thereporting rule may comprise a fee exemption rule, such as a feeexemption based on the type of customer. For example, Texas may excusefund companies from various transaction fees if the underlying customeris an institutional investor rather than a retail investor.

In some embodiments, step 616 may comprise determining a subset of thecustomers/transactions associated with the transaction records forinclusion in the supplemental data report based on the reporting rules.In some embodiments, the reporting rules may include a threshold rulefor selecting customers/transactions for inclusion in the supplementaldata report based on one or more threshold values. The threshold rulemay be associated with a field of the operational attribute fieldsstored in the back end systems 530. Additionally or alternatively, thethreshold rule may be based on one or more attributes of the set ofproducts and the supplemental data report generation system 510 may useproduct information corresponding to one or more attributes of the setof products to determine the threshold rule. As one example, the set ofproducts may comprise a family of mutual funds and the one or moreattributes may comprise a size of each respective mutual fund of thefamily of mutual funds. In some embodiments, the system may calculate athreshold value and the threshold rule may be based on the thresholdvalue. For example, the system may calculate a threshold value bycalculating a percentage of the size of a mutual fund based on theproduct information. The threshold rule associated with that thresholdvalue may be a test whether a given customer owns more than thethreshold percentage of the fund's size. Customers that own more thanthe threshold value may be included in the report.

In some arrangements, step 616 may comprise determining what operationalattributes and transaction information should be included in thesupplemental data report based on the report criteria and/or systemsettings. For example, the report criteria may indicate that thesupplemental data report generation system should include a customername in a concentration report for customers that meet a thresholdholding rule, such as 0.5% of a fund. As another example, the reportcriteria may indicate that the report should include a percentagebreakdown of the customers having certain attributes. Continuing thestate of sale example from above, the report criteria may cause thesupplemental data report generation system 510 to include client typeinformation (such as the customer's status as retail, managed,institutional) in the report. The criteria may further specify that thepercentages comprised by each type of client be calculated and includedin the report. For example, the report may indicate that X % of thesubset of customers associated with a specified product areinstitutional investors, while Y % are retail.

Step 616 may comprise generating one or more aggregate metrics based onthe operational attributes associated with the relevant transactionrecords. Some example aggregate metrics include averages of operationalattributes, medians and quartile calculations for the operationalattributes, statistical analysis of the operational attributes and/orstatistical analysis of the subset of customers associated with therelevant transactions, percentage breakouts as described above, sums,and/or any other suitable calculated value based on one or moreoperational attributes associated with the responsive/relevanttransactions. Some operational attributes may be deemed personallyidentifiable material, usable to identify the customer from othercustomers. The institution maintaining the representative account onbehalf of the customers may seek to avoid unnecessarily disclosing theidentity of the customers in the representative account. Use ofaggregate metrics in supplemental data reporting may provide fundcompanies with useful information for risk management, liquidityprojection, and regulatory compliance while avoiding unnecessarydisclosure of other customer details.

At step 618, the supplemental data generation system 510 may generatethe supplemental data report based on the transaction records,operational attributes, and report criteria. The report may be generatedbased on the operational attributes included in the relevant transactionrecords (e.g., those that meet the criteria for the report) and/oroperational attributes determined in step 616. In some embodiments, thereport may include aggregate metrics calculated based on the operationalattributes. The aggregate metrics may be included in lieu of the actualoperational attributes themselves in order to limit unnecessarydisclosure of customer details, in some embodiments. The supplementaldata report may be generated using a form and/or template report thatdescribes the layout, content, formatting, fields, and/or other suitableinformation for generating the supplemental data report. Once generated,the supplemental data report may be stored in staging data store 540 atstep 620 and/or sent to front-end systems 520 for user review at step622.

FIG. 6B continues the data flow of FIG. 6A starting from step 620, wherethe supplemental data report may be stored in staging data store 540. Atstep 624, front end systems 520 may send a request to view reportsstored in the report staging data store 540. At step 626, report stagingdata store 540 may send a listing of the stored reports to front endsystems 520.

At step 628, front end systems 520 may generate a user interfacepresenting the listing of stored supplemental data reports to a user forselection (see, e.g., view and publish user interface 1110 of FIG. 11A).The user interface may be displayed as a list of files and links to openthose files for review, in some embodiments. In some arrangements, thelist of supplemental data reports stored in the report staging datastore 540 may be viewed using a file manager. The user interface maydisplay additional information about the reports, such as a name of thereport, a run date of the reports, a report type of the reports, and alink to open and/or review the report. The user interface may allowusers to delete, modify, and/or publish reports that are stored in thereport staging data store 540. Front end systems 520 may receive aselection of a supplemental data report from the user, such as inresponse to user input via the user interface.

At step 630, front end systems 520 may send a request to the reportstaging data store to retrieve the selected supplemental data report forviewing. At step 632, report staging data store may send thesupplemental data report to front end systems 520 for viewing.

At step 634, front end systems 520 may generate a user interfacecomprising a display of the supplemental data report and allow a user toreview the content of the selected supplemental data report (see, e.g.,user interface 1120 of FIG. 11B). The user interface may includemetadata regarding attributes of the report such as a name of thereport, a creation date, a report type, a set of criteria used togenerate the report, notes about the report, and/or any other suitabledata about the report.

In some embodiments, the user interface may allow the user to edit oneor more aspects of the report, such as adding, removing, and changingcontent of the report. At optional step 636 a, the system may acceptmodifications from a reviewing user. The user interface may allow theuser to edit the criteria used to generate the supplemental data report,and front end systems 520 may request that the supplemental data reportgeneration system 510 re-generate or re-run the report with the modifiedcriteria at step 636 b. After the modified report is generated, thesupplemental data report generation system 510 may return there-generated report to front end systems 520 which may display themodified report at step 636 c.

At step 638, front end systems 520 may receive user input approving thesupplemental data report for publication. Once the user has reviewed thesupplemental data report, the user may indicate that the report shouldbe published to publishing platform 550 and made available to thirdparty users. The user may select a control on a user interface toinitiate publication of the report. Additionally and/or alternatively,the user may select a control to schedule the report for laterpublication. Reports selected for publication may also be saved toreport archive data store 545.

At step 640, front end systems 520 may send a command to the reportstaging data store 540 to publish the supplemental data report and, atstep 642, report staging data store 540 may transfer the selectedsupplemental data report to the publishing platform 550. At step 644,publishing platform 550 may make the report available to authorizedthird party users. For example, publishing platform 550 may make thereport available for download through an external facing website. Thewebsite may list reports available for a given fund manager to downloadfor fund families associated with the given fund manager. Additionallyand/or alternatively, the report may be made available through a FileTransfer Protocol (FTP) site or other file transfer service.

Having discussed the operating environment for the supplemental datareport generation system illustrated in FIGS. 5A and 5B, and the dataflows illustrated in FIGS. 6A and 6B, discussion will now turn tomethods of generating supplemental data reports according to one or moreaspects described herein, as depicted in FIGS. 7A, 7B, and 8-10.

The methods illustrated in FIGS. 7A, 7B, and 8-10 may be performed by aspecial-purpose computing device, such as supplemental data reportgeneration device 100. The methods may be performed by and or embodiedin supplemental data report generation system 510, front end systems520, back end systems 530, and or any other suitable combinationthereof. Although discussed briefly here, it is to be understood thatthe varied features discussed above with respect to FIGS. 5A, 5B, 6A,and 6B may be incorporated in the methods illustrated in FIGS. 7A, 7B,and 8-10 as appropriate.

FIG. 7A illustrates an example method of generating a supplemental datareport for transactions of a representative account based on a set ofcriteria for the report in accordance with one or more exampleembodiments. The representative account may be associated with a firstplurality of customers. At step 705, a supplemental data reportgeneration device may determine to initiate generation of a supplementaldata report for transactions of the representative account based on aset of criteria for the report. As discussed above, in some embodimentsthe supplemental data report generation device may receive a request toinitiate the generation of the supplemental data report from a front enddevice in response to user input. In some embodiments, the set ofcriteria for the report may be retrieved from a report definition datastore. The supplemental data report generation device may also determineto initiate the generation of the report based on a scheduled report,such as a report set to run at regular intervals (e.g. monthly, weekly).

At step 710, the supplemental data report generation device may retrieveone or more transaction records associated with the representativeaccount based on a set of products included in the set of criteria. Forexample, the set of criteria may identify a particular fund family asthe subject of the supplemental data report. At step 715, thesupplemental data report generation device may access operationalattributes associated with the one or more transaction records. At step720, the supplemental data report generation device may compare theoperational attributes associated with the one or more transactionrecords with the set of criteria for the report. In some embodiments,the set of criteria provided by the user or stored in the report datastore may comprise one or more rules. In other embodiments, thesupplemental data report generation device may look up one or more rulesassociated with one or more transaction properties included in the setof criteria. Based on the comparison, the supplemental data reportgeneration device may determine which transaction records arerelevant/responsive to the set of criteria for the supplemental datareport. At step 725, the supplemental data report generation device maydetermine suitable operational attribute information and transactioninformation for inclusion in the report based on the transactionrecords, operational attributes, and the set of criteria for the report.The supplemental data report generation device may further calculateand/or otherwise generate one or more aggregate metrics based on theoperational attributes for inclusion in the supplemental data report. Atstep 730, the supplemental data report generation device may generatethe supplemental data report based on the transaction records determinedto meet the set of criteria for the report, the relevant operationalattributes, and the set of criteria for the report. The generated reportmay be stored in a report staging data store for review and publicationby a user.

As described above with respect to FIGS. 5A and 5B, the operationalattributes may be stored as part of the transaction records in someembodiments, and/or the operational attributes may be stored as part ofa separate operational attribute data store in other embodiments. FIG.7B illustrates an alternative method of generating a supplemental datareport for transactions of a representative account based on a set ofcriteria for the report in accordance with one or more exampleembodiments. The method illustrated in FIG. 7B may retrieve operationalattribute data from an operational attribute data store based on aclient identifier included in the transaction records that meet thecriteria for the supplemental data report.

At step 755, a supplemental data report generation device may receive arequest to generate a supplemental data report for transactions of arepresentative account. The request may identify a set of criteria forthe report. As discussed above with respect to FIGS. 5A, 5B, and 6A, therequest may be generated by a front end device in response to userinput.

At step 760, the supplemental data report generation device may retrieveone or more transaction records associated with the representativeaccount based on a set of products included in the set of criteria. Forexample, the set of criteria may identify a particular fund family asthe subject of the supplemental data report. At step 765, thesupplemental data report generation device may determine a secondplurality of customers selected from the first plurality of customersbased on client identifiers in the transaction records. At step 770, thesupplemental data report generation device may retrieve operationalattribute data corresponding to the second plurality of customers. Atstep 775, the supplemental data report generation device may determinesuitable operational attributes for inclusion in the report based on thetransaction records and the set of criteria for the report. Thesupplemental data report generation device may further calculate and/orotherwise generate one or more aggregate metrics based on theoperational attributes for inclusion in the supplemental data report. Atstep 780, the supplemental data report generation device may generatethe supplemental data report based on the responsive/relevant, thetransaction records, the operational attributes, and the set of criteriafor the report. The generated report may be stored in a report stagingdata store for review and publication by a user.

FIG. 8 illustrates another example method of generating a supplementaldata report for transactions of a representative account based on a setof criteria for the report in accordance with one or more exampleembodiments. The method of FIG. 8 may determine and consider a thresholdvalue associated with a product included in the set of criteria for thesupplemental data report. At step 805, a supplemental data reportgeneration device may receive a request to generate a supplemental datareport for transactions of a representative account. The request mayidentify a set of criteria for the report. As discussed above withrespect to FIGS. 5A, 5B, and 6A, the request may be generated by a frontend device in response to user input.

At step 810, the supplemental data report generation device maydetermine a threshold value and/or threshold rule associated with aproduct included in the set of criteria. The threshold value and/orthreshold rule may be determined based on product information regardingone or more attributes of the product. For example, the threshold valuemay be determined based on a fund size of a mutual fund product bydetermining a value that represents 5% of the fund size. The thresholdrule in such an example may be that customers who own more than thethreshold value, e.g. 5% of the fund size, should be included in thereport. At step 815, the supplemental data report generation device mayretrieve transaction records associated with the representative accountand the product. In some embodiments, the transaction records mayinclude the relevant operational attribute information and thesupplemental data report generation device may proceed to determinecontent for the report at step 830.

At optional step 820, the supplemental data report generation device maydetermine clients of the representative account that are associated withthe retrieved transaction records. For example, in some embodiments therepresentative account may consist of a first plurality of clients, andthe clients that are associated with the retrieved transaction recordsmay be a second plurality of customers comprising less than all of theclients in the representative account (e.g. a subset of the firstplurality of customers). The retrieved transaction records may includeclient identifiers and/or other references suitable to identify anoperational attribute data record stored in operational attribute datastore. At optional step 825, the supplemental data report generationdevice may retrieve operational attributes corresponding to thedetermined clients associated with the relevant transactions.

At step 830, the supplemental data report generation device maydetermine a further subset of the second plurality of customers thatmeet the determined threshold value and/or threshold rule. Thesupplemental data report generation device may review operationalattributes associated with each customer of the second plurality ofcustomers to determine which customers satisfy the threshold rule. Forexample, the supplemental data report generation device may determinethat a customer should be included in the supplemental data report basedon the threshold rule if the customer owns more than a thresholdpercentage of the fund's total size.

At step 835, the supplemental data report generation device may generatethe supplemental data report based on the determined subset ofcustomers, the determined threshold value, the transaction records, theoperational attributes, and the set of criteria for the report. Thegenerated report may be stored in a report staging data store for reviewand publication by a user.

FIG. 9 illustrates another example method of generating a supplementaldata report for transactions of a representative account based on a setof criteria for the report in accordance with one or more exampleembodiments. The method of FIG. 9 may accept a transaction property aspart of the set of criteria for the supplemental data report. At step905, a supplemental data report generation device may receive a requestto generate a supplemental data report for transactions of arepresentative account. The request may identify a set of criteria forthe report, such as a set of products to be covered by the report and atransaction property used to select transactions that will be includedin the report. As discussed above with respect to FIGS. 5A, 5B, and 6A,the request may be generated by a front end device in response to userinput.

At step 910, the supplemental data report generation device may retrievefirst transaction records associated with the representative account andthe set of products. At step 915, the supplemental data reportgeneration device may determine second transaction records of the firsttransaction records based on records of the second transaction recordshaving and/or matching the specified transaction property in thecriteria for the report. In some embodiments, the retrieved transactionrecords may include operational attribute data therein. In otherembodiments, at optional step 920, the supplemental data reportgeneration device may retrieve operational attributes based on clientidentifiers in the second plurality of transaction records. At step 925,the supplemental data report generation device may determine a reportingrule based on the transaction property. For example, the transactionproperty may be a particular state of sale and the supplemental datareport generation device may look up one or more reporting rulesassociated with that particular state. Additionally or alternatively,the reporting rule may be specified as part of the set of criteria. Atstep 930, the supplemental data report generation device may determine asubset of the first plurality of customers of the representativeaccount. The subset of customers may be selected from the firstplurality of customers based on customers of the subset meeting thereporting rule based on the retrieved operational attributes. At step935, the supplemental data report generation device may generate thesupplemental data report based on the subset of customers, the set ofcriteria for the report, the transaction records, the operationalattributes, and the reporting rule.

FIG. 10 illustrates another example method of generating a supplementaldata report for transactions of a representative account based on a setof criteria for the report in accordance with one or more exampleembodiments. The method of FIG. 10 relates to a front end system thatallows configuration of supplemental data reports and presents generatedsupplemental data reports to a user for review and publication. At step1005, a front end device, may generate a user interface allowing usersto configure criteria for a supplemental data report for transactions ofa representative account. The user interface may comprise one or morecontrols operable to define the criteria for the supplemental datareport.

At step 1010, the front-end device may receive a user input of the setof criteria for the supplemental data report via the user interface. Atstep 1015, the front-end device may initiate generation of thesupplemental data report based on the received criteria. In someembodiments, the user interface of steps 1005 and 1010 may be generatedby a front end device. The front end device may initiate generation ofthe supplemental data report by a back end device by sending a messageto the back end device to begin generation of the supplemental datareport. The request may include the set of criteria for the report.

At step 1020, the front-end device may generate a display of thesupplemental data report and present the display to a user. In someembodiments, the display of the supplemental data report may bepresented in response to user selection of the supplemental data reportfrom a list of reports stored in a report staging data store. At step1025 the front-end device may receive user input comprising one or moremodifications to the supplemental data report. At step 1030, thefront-end device may update the supplemental data report and update thedisplay of the supplemental data report to reflect the modifications. Atstep 1035, the front-end device may receive user input requesting topublish the supplemental data report to a publishing platform. This maymake the report available to authorized third party users via a websiteor file service.

One or more aspects of the disclosure may be embodied in computer-usabledata or computer-executable instructions, such as in one or more programmodules, executed by one or more computers or other devices to performthe operations described herein. Generally, program modules includeroutines, programs, objects, components, data structures, and the likethat perform particular tasks or implement particular abstract datatypes when executed by one or more processors in a computer or otherdata processing device. The computer-executable instructions may bestored on a computer-readable medium such as a hard disk, optical disk,removable storage media, solid-state memory, RAM, and the like. Thefunctionality of the program modules may be combined or distributed asdesired in various embodiments. In addition, the functionality may beembodied in whole or in part in firmware or hardware equivalents, suchas integrated circuits, application-specific integrated circuits(ASICs), field programmable gate arrays (FPGA), and the like. Particulardata structures may be used to more effectively implement one or moreaspects of the disclosure, and such data structures are contemplated tobe within the scope of computer executable instructions andcomputer-usable data described herein.

Various aspects described herein may be embodied as a method, anapparatus, or as one or more computer-readable media storingcomputer-executable instructions. Accordingly, those aspects may takethe form of an entirely hardware embodiment, an entirely softwareembodiment, an entirely firmware embodiment, or an embodiment combiningsoftware, hardware, and firmware aspects in any combination. Inaddition, various signals representing data or events as describedherein may be transferred between a source and a destination in the formof light or electromagnetic waves traveling through signal-conductingmedia such as metal wires, optical fibers, or wireless transmissionmedia (e.g., air or space). In general, the one or morecomputer-readable media may comprise one or more non-transitorycomputer-readable media.

Aspects of the disclosure have been described in terms of illustrativeembodiments thereof. Numerous other embodiments, modifications, andvariations within the scope and spirit of the appended claims will occurto persons of ordinary skill in the art from a review of thisdisclosure. For example, one or more of the steps depicted in theillustrative figures may be performed in other than the recited order,and one or more depicted steps may be optional in accordance withaspects of the disclosure.

What is claimed is:
 1. A system, comprising: a record data storeconfigured to store a plurality of action records associated with anaggregated user reporting entity, wherein the aggregate user reportingentity corresponds to a plurality of users; a reporting rule data storeconfigured to store one or more reporting rules associated with one ormore action properties; a report staging data store configured to storea plurality of reports; and a supplemental data report generation devicecomprising at least one processor and memory storing computer-readableinstructions that, when executed by the at least one processor, causethe supplemental data report generation device to: receive a set ofcriteria for a supplemental data report corresponding to actions of theaggregate user reporting entity, wherein the set of criteria comprises aset of items covered by the supplemental data report and a first actionproperty; retrieve, from the reporting rule data store, a firstreporting rule based on the first action property; retrieve, from therecord data store, one or more action records of the plurality of actionrecords based on the set of items and first action property; determine,based on a set of operational attributes associated with the one or moreaction records, a subset of actions that match the first reporting rule;generate the supplemental data report based on the set of items and thesubset of actions; and store the supplemental data report in the reportstaging data store.
 2. The system of claim 1, wherein the one or moreaction records retrieved from the record data store include operationalattributes associated with each respective action record.
 3. The systemof claim 1, further comprising an operational attribute data storeconfigured to store user records associated with the plurality of usersof the aggregate user reporting entity, wherein the memory storesadditional computer-readable instructions that, when executed by the atleast one processor, further cause the supplemental data reportgeneration device to: retrieve, from the operational attribute datastore, the set of operational attributes associated with the one or moreaction records, wherein the set of operational attributes corresponds toattributes of users associated with the set of items based on the one ormore action records.
 4. The system of claim 1, wherein the systemfurther comprises a report definition data store configured to storereport criteria and initiate generation of the supplemental data reportat predefined intervals, and wherein the supplemental data reportgeneration device receives the set of criteria for the supplemental datareport from the report definition data store.
 5. A system, comprising: atransaction record data store configured to store a plurality oftransaction records associated with a representative account, whereinthe representative account corresponds to a plurality of customers; areporting rule data store configured to store one or more reportingrules associated with one or more transaction properties; a reportstaging data store configured to store a plurality of reports; and asupplemental data report generation device comprising at least oneprocessor and memory storing computer-readable instructions that, whenexecuted by the at least one processor, cause the supplemental datareport generation device to: receive a set of criteria for asupplemental data report corresponding to transactions of therepresentative account, wherein the set of criteria comprises a set ofproducts covered by the supplemental data report and a first transactionproperty; retrieve, from the reporting rule data store, a firstreporting rule based on the first transaction property; retrieve, fromthe transaction record data store, one or more transaction records ofthe plurality of transaction records based on the set of products andfirst transaction property; determine, based on a set of operationalattributes associated with the one or more transaction records, a subsetof transactions that match the first reporting rule; generate thesupplemental data report based on the set of products and the subset oftransactions; and store the supplemental data report in the reportstaging data store.
 6. The system of claim 5, wherein the one or moretransaction records retrieved from the transaction record data storeinclude operational attributes associated with each respectivetransaction record.
 7. The system of claim 5, further comprising anoperational attribute data store configured to store client recordsassociated with the plurality of customers of the representativeaccount, wherein the memory stores additional computer-readableinstructions that, when executed by the at least one processor, furthercause the supplemental data report generation device to: retrieve, fromthe operational attribute data store, the set of operational attributesassociated with the one or more transaction records, wherein the set ofoperational attributes corresponds to attributes of customers associatedwith the set of products based on the one or more transaction records.8. The system of claim 5, wherein the memory stores additionalcomputer-readable instructions that, when executed by the at least oneprocessor, further cause the supplemental data report generation deviceto: calculate one or more aggregate metrics associated with the set ofproducts and the subset of transactions based at least in part onportions of the set of operational attributes that correspond to thefirst reporting rule, wherein the generated supplemental data reportincludes the one or more aggregate metrics in lieu of the portions ofthe set of operational attributes.
 9. The system of claim 5, wherein thesystem further comprises a report definition data store configured tostore report criteria and initiate generation of the supplemental datareport at predefined intervals, and wherein the supplemental data reportgeneration device receives the set of criteria for the supplemental datareport from the report definition data store.
 10. The system of claim 5,wherein retrieving the one or more transaction records based on the setof products and the first transaction property comprises retrieving theone or more transaction records of the plurality of transaction recordsthat correspond to a product in the set of products and have the firsttransaction property.
 11. The system of claim 5, wherein the firsttransaction property comprises a state of sale.
 12. The system of claim11, wherein the first reporting rule comprises customer exemptioncriteria associated with the state of sale.
 13. The system of claim 5,wherein the first reporting rule comprises a rule based on a clientclassification attribute.
 14. The system of claim 5, wherein thetransaction records correspond to mutual fund subscription transactionsmade by the representative account and the set of products comprises adefined family of mutual funds.
 15. A method of generating asupplemental data report for transactions of a representative accountcorresponding to a first plurality of customers, the method comprising:receiving, by a supplemental data report generation device, a set ofcriteria for the supplemental data report, wherein the set of criteriacomprises a set of products covered by the supplemental data report andone or more transaction properties; retrieving, by the supplemental datareport generation device and from a transaction data store, a firstplurality of transaction records corresponding to the representativeaccount based on the set of products; determining, by the supplementaldata report generation device, a second plurality of transaction recordsselected from the first plurality of transaction records based on agiven transaction record having the one or more transaction properties;determining, by the supplemental data report generation device and basedon operational attributes corresponding to the second plurality oftransaction records, a third plurality of transaction records that matchone or more reporting rules associated with the one or more transactionproperties, wherein the third plurality of transaction records is asubset of the second plurality of transaction records; generating, bythe supplemental data report generation device, the supplemental datareport based on the third plurality of transaction records and theoperational attributes; and storing the supplemental data report in areport staging data store.
 16. The method of claim 15, furthercomprising: retrieving, by the supplemental data report generationdevice and from an operational attribute data store, the operationalattributes corresponding to the second plurality of transaction records.17. The method of claim 15, wherein the reporting rules are based on oneor more fields of the operational attributes, the method furthercomprising: calculating one or more aggregate metrics associated withthe operational attributes corresponding to the third plurality oftransaction records based at least in part on information contained inthe one or more fields associated with the reporting rules, wherein thegenerated supplemental data report includes the one or more aggregatemetrics and does not include the information contained in the one ormore fields.
 18. The method of claim 15, further comprising: receiving,by the supplemental data report generation device, the set of criteriafor the supplemental data report from a report definition data store.19. The method of claim 15, further comprising: retrieving, by thesupplemental data report generation device, the one or more reportingrules based on the one or more transaction properties.
 20. The method ofclaim 15, wherein the one or more transaction properties comprise astate of sale and wherein the one or more reporting rules comprisecustomer exemption criteria associated with the state of sale.